Robert Martin Sweeney III (CRD # 3198872, Registered Representative, Archbald, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. The fine must be paid either immediately upon Sweeney’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Sweeney consented to the described sanctions and to the entry of findings that he signed a customer’s name on a tax certification form related to a life insurance policy without the customer’s authorization or consent.

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.